Broker-Dealer Consulting

Core Compliance can assist with overseeing and assisting with ongoing broker-dealer registration and membership applications with FINRA. Core Compliance can also provide independent audits of the firm’s anti-money laundering and broker-dealer compliance program.

Private Equity Compliance

Our team evaluates the intricate details and considerations private equity firms face with the risk management, regulatory compliance issues and due diligence considerations prior to and during the capital raising process. Our consultants will provide customized consultation based on current industry best practices.

Hedge Fund Compliance

With heightened regulations governing hedge funds, there is greater regulatory risk and potential for non-compliance. Let Core Compliance help you handle the unique regulatory compliance challenges of today. We can provide guidance on industry best practices, help you develop and implement your compliance program, conduct mock examinations, and provide your firm with mentoring, training and education on the latest regulatory issues.

Technology Solutions

Core Compliance can assist financial firms with automated compliance solutions to manage and monitor their compliance programs, which allows for operational efficiencies and mitigation of regulatory risks.

Insurance Licensing

Legal Services

Core Compliance does not provide legal advice. All requested legal services are provided through our affiliated law firm, Jacko Law Group, PC, under a separate engagement agreement. For more information, please visit www.jackolg.com.

Training and Expert Witness

Core Compliance will also work with your outside counsel upon request. We provide expert witness services, as well as comprehensive compliance training. All client packages are customized to meet your specific needs.

Cybersecurity

Cybersecurity is a significant compliance and business risk that affects nearly all firms. Core Compliance has developed a six-point cybersecurity action plan that is practical, economical and effective.

Form ADV Services

You need to prepare or update your Form ADV every year - and sometimes, more often than that. Out of any document you provide to your clients, this the most important. It discloses the heart of your firm, the services you offer, the conflicts present in your business and other material information they must consider prior to doing business with you.